KS
Kimberly A. Scouller
TRANSAMERICA FINANCIAL ADVISORS
Alpharetta, GA 30005
Some features on this profile are disabled
CRD#: 2687207
KS
Professional summary
Kimberly Ann Scouller is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Alpharetta, Georgia.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kimberly has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." KIMBERLY A SCOULLER, JADE LAW OFFICES OF KIM SCOULLER/NO/6475 EAST JOHNS CROSSING, JOHNS CREEK, GA 30097/AS THE ATTORNEY FOR ENTITIES I HELP FORM WITHIN THE STATE OF GA, I SOMETIMES SERVE AS THE REGISTERED AGENT FOR THESE ENTITIES FOR THE GA SECRETARY OF STATE'S RECORDS./AGENT,ATTORNEY/11.02.2016/1/0/AS THE REGISRERED AGENT, I RECEIVE SERVICE OF PROCESS FOR LITIGATION MATTER FILED AGAINST ENTITIES I LEGALLY REPRESENT IN GA. I ALSO HELP ENSURE THAT THEIR FILINGS WITH THE GA SECRETARY OF STATE ARE UP TO DATE. HOW MONEY WORKS, LLC emp dates: 1218 TO PRESENT/ INVESTMENT RELATED: NO /address: 6475 EAST JOHNS CROSSING JOHNS CREEK, GA 30097/ position: MEMBER / nature of business: FINANCIAL EDUCATION / hrs work monthly: 20 /Sec trading hrs: 1 / duties: PROVIDE LEGAL SERVICES ATLANTA NEUROSCIENCE INSTITUTE POSITION: BOARD MEMBER NATURE: Medical treatment of neurological diseases. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2016 ADDRESS: 3200 DOWNWOOD CIRCLE, SUITE 550, ATLANTA GA 30327, United States DESCRIPTION: I review board materials on a quarterly basis and attend the board's quarterly meetings. WEALTHWAVE MEDIA, LLC POSITION: Economic Interest Holder NATURE: Financial literacy education and marketing materials. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2022 ADDRESS: 6475 East Johns Crossing, Johns Creek GA 30097, United States DESCRIPTION: I assist in creating and editing financial literacy and marketing materials. I also assist with legal and compliance matters related to this company and the materials it produces.
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Ann Scouller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Ann Scouller's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Past
December 4, 2007 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
DULUTH, GA
Past
October 11, 2007 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
JOHNS CREEK, GA
Past
January 23, 2002 - August 16, 2006
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
July 17, 1998 - December 20, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
DULUTH, GA
Past
July 14, 1998 - July 9, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
January 4, 1996 - June 3, 1998
AFSG SECURITIES CORPORATION
BD
CRD#: 18374
CEDAR RAPIDS, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/15/2021)
RR
California(1/8/2015)
RR
Colorado(5/3/2017)
RR
Delaware(8/13/2015)
RR
Florida(5/9/2013)
RR
Georgia(1/6/2012)
IAR
Georgia(1/6/2012)
RR
Illinois(8/4/2020)
RR
Indiana(8/25/2022)
RR
Kentucky(1/6/2012)
RR
Louisiana(11/19/2019)
RR
Massachusetts(5/21/2025)
RR
Nevada(1/8/2015)
RR
New Jersey(7/31/2020)
IAR
New Jersey(7/31/2020)
RR
New Mexico(1/8/2015)
IAR
North Carolina(1/6/2012)
RR
North Carolina(3/10/2021)
RR
Ohio(9/19/2013)
RR
Oklahoma(1/8/2015)
RR
Tennessee(4/16/2021)
IAR
Texas(2/24/2021)
RR
Texas(2/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
